|
|
 |
Comments on Proposed Rule: Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
[Release Nos. 33-9922, IC-31835, File No. S7-16-15]
|
|
(Click here for meetings with SEC officials)
|
| Nov. 3, 2017 | Dorothy Donohue, Acting General Counsel, Investment Company Institute |
| Sep. 21, 2016 | Michael R. Granito, Senior Vice President, Chief Risk Officer, Federated Investors, Inc. |
| Aug. 16, 2016 | James Edmond Smith |
| Jul. 6, 2016 | Senator Sherrod Brown, U.S. Senate |
| Jun. 22, 2016 | Paul K. Freeman, Chair, Governing Council, Independent Directors Council |
| Jun. 13, 2016 | Thomas E. Faust, Jr., Chairman and Chief Executive Officer, Eaton Vance Corp. |
| Jun. 10, 2016 | Cynthia M. Clarke, General Counsel, Wellington Management Company LLP, Boston, Massachusetts |
| May 17, 2016 | David W. Blass, General Counsel, Investment Company Institute |
| Apr. 12, 2016 | Linda Sherry, Director, National Priorities, Consumer Action, and Sally Greenberg, Executive Director, National Consumers League |
| Apr. 12, 2016 | Timothy W. Cameron, Head, Securities Industry and Financial Markets, and Lindsey Weber Keljo, Esq., Vice President and
Assistant General Counsel; Securities Industry and Financial Markets Association Asset Management Group (SIFMA AMG) |
| Mar. 29, 2016 | Dr. Martin Rohleder, Finance and Banking, University of Augsburg |
| Feb. 11, 2016 | David M. Lynn, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association, Washington, District of Columbia |
| Feb. 10, 2016 | Robert Kane, CEO, Bondview, New York, New York |
| Feb. 10, 2016 | Patrick J. O'Leary, Wayne, Pennsylvania |
| Feb. 4, 2016 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute |
| Feb. 2, 2016 | Austrian Association of Investment Fund Management Companies, et al. |
| Jan. 26, 2016 | KPMG LLP |
| Jan. 25, 2016 | Gary L. Gatineau, President, ETF Consultants.com, Inc. |
| Jan. 21, 2016 | Dana M. Emery, Chief Executive Officer, Dodge & Cox |
| Jan. 18, 2016 | Niels Holch, Executive Director, Coalition ofMutual Fund Investors |
| Jan. 14, 2016 | Simpson Thacher & Bartlett LLP |
| Jan. 14, 2016 | Ernst & Young LLP |
| Jan. 13, 2016 | Justin Banks, Concerned Citizen and Financial Markets Professional |
| Jan. 13, 2016 | Dennis Keller, President & CEO, et al., Better Markets, Inc. |
| Jan. 13, 2016 | Stuart J. Kaswell, Executive Vice-President and Managing Director, General Counsel, Managed Funds Association |
| Jan. 13, 2016 | Payson F. Swaffield, CFA, Chief Income Investment Officer, Eaton Vance Management |
| Jan. 13, 2016 | Americans for Financial Reform |
| Jan. 13, 2016 | John M. Zerr, Managing Director & General Counsel, US Retail, Invesco Management Group, Inc. |
| Jan. 13, 2016 | Paul F. Roye, Senior Vice President and Rachel V. Nass, Counsel, Capital Research and Management Company |
| Jan. 13, 2016 | Dustin T. McDonald, Director, Federal Liaison Center, Government Finance Officers Association, Washington, District of Columbia |
| Jan. 13, 2016 | David Oestreicher, Esq., Chief Legal Counsel, T. Rowe Price |
| Jan. 13, 2016 | Charles de Vaulx, Chief Investment Officer and Co-Portfolio Manager of International Value Advisers, LLC, New York, New York |
| Jan. 13, 2016 | Dechert LLP |
| Jan. 13, 2016 | Stefan Gavell, Executive Vice President and Head of Regulatory, Industry & Government Affairs, State Street Corporation and Phil Gillespie, Executive Vice President and General Counsel, State Street Global Advisors |
| Jan. 13, 2016 | Paul J. Haast, Head of Product and Investments, Wells Fargo Funds Management, LLC |
| Jan. 13, 2016 | John G. Popp, Managing Director, Credit Suisse, Chief Executive Officer and President of the Credit Suisse Funds, and Global Head and Chief Investment Officer, Credit Investments Group |
| Jan. 13, 2016 | George C.W. Gatch, Managing Director, CEO, Global Funds Management & Institutional, J.P. Morgan Asset Management |
| Jan. 13, 2016 | David B. Smith, Jr., Executive Vice President and General Counsel, Mutual Fund Directors Forum, Washington, District of Columbia |
| Jan. 13, 2016 | Timothy W. Cameron, Esq., Asset Management Group - Head, and Lindsey Weber Keljo, Esq.,
Asset Management Group - Vice President and Assistant General Counsel; Securities Industry and Financial Markets Association, Washington, District of Columbia |
| Jan. 13, 2016 | Timothy W. Cameron, Esq., Asset Management Group - Head, and Lindsey Weber Keljo, Esq.,
Asset Management Group - Vice President and Assistant General Counsel; Securities Industry and Financial Markets Association, Washington, District of Columbia |
| Jan. 13, 2016 | Scott Cooley, Director of Policy Research, Morningstar, Inc., Chicago, Illinois |
| Jan. 13, 2016 | Cynthia M. Clarke, General Counsel, Wellington Management Company LLP, Boston, Massachusetts |
| Jan. 13, 2016 | PricewaterhouseCoopers LLP |
| Jan. 13, 2016 | Anonymous |
| Jan. 13, 2016 | Paul Schott Stevens, President and CEO, Investment Company Institute |
| Jan. 13, 2016 | Marie Knowles, Chair of the Independent Trustees, Fidelity Fixed Income and Asset Allocation Funds |
| Jan. 13, 2016 | R. Bram Smith, Executive Director, LSTA, New York, New York |
| Jan. 13, 2016 | Brian Reid, Chief Economist, Investment Company Institute |
| Jan. 13, 2016 | Richard Foster, Senior Vice President and Senior Counsel for Regulatory and Legal Affairs, Financial Services Roundtable, Washington, District of Columbia |
| Jan. 13, 2016 | David Blass, General Counsel, Investment Company Institute |
| Jan. 13, 2016 | Mark N. Polebaum, Executive Vice President and General Counsel, MFS Investment Management, Boston, Massachusetts |
| Jan. 13, 2016 | Amy B.R. Lancellotta, Managing Director, Independent Directors Council |
| Jan. 13, 2016 | Sir Paul Tucker, Chair, and Sheila Bair, Chair Emeritus, Systemic Risk Council |
| Jan. 13, 2016 | J. Christopher Donahue, President and Chief Executive Officer, and Michael R. Granito, Chief Risk Officer, Federated Investors, Inc. |
| Jan. 13, 2016 | Marcus Schüler, Head of Regulatory Affairs, Markit |
| Jan. 13, 2016 | Douglas M. Hodge, Chief Executive Officer, Pacific Investment Management Company LLC, Newport Beach, California |
| Jan. 13, 2016 | David P. Bergers, General Counsel, LPL Financial |
| Jan. 13, 2016 | Joseph M. Harvey, President and Chief Investment Officer, Cohen and Steers, New York, New York |
| Jan. 13, 2016 | Marc Bryant, Senior Vice President and Chief Legal Officer, Fidelity Management & Research Company |
| Jan. 13, 2016 | Marie Chandoha, President and Chief Executive Officer, Charles Schwab Investment Management, Inc. |
| Jan. 13, 2016 | Carlo Acerbi, Executive Director, Research, MSCI |
| Jan. 13, 2016 | Frank J. Nasta, Chair, Committee on Investment Management Regulation, Association of the Bar of the City of New York |
| Jan. 13, 2016 | Sridhar Chandrasekharan,, CEO, HSBC Global Asset Management Ltd. and Interim Head of Insurance Manufacturing, HSBC Global Asset Management Limited |
| Jan. 13, 2016 | Jiří Król, Deputy Chief Executive Officer, Global Head of Government Affairs, Alternative Investment Management Association Limited |
| Jan. 13, 2016 | Gifford R. Zimmerman, CFA, Managing Director and Associate General Counsel, Nuveen Fund Advisors, LLC, Chicago, Illinois |
| Jan. 13, 2016 | Arthur S. Gabinet, Esq., Executive Vice President & General Counsel, and Geoffrey J. Craddock, Executive Vice President & Chief Risk Officer, OppenheimerFunds |
| Jan. 13, 2016 | Barbara Novick, Vice Chairman, and Benjamin Archibald, Managing Director, BlackRock, Inc. |
| Jan. 12, 2016 | Jeffrey T. Becker, CEO, Voya Investment Management, New York, New York |
| Jan. 12, 2016 | Michael Aguilar, Senior Lecturer of Economics, The University of North Carolina at Chapel Hill, Chapel Hill, North Carolina, et al. |
| Jan. 12, 2016 | Kurt N. Schacht, CFA, Managing Director, Standards and Advocacy, and Linda L. Rittenhouse, Director, Capital Markets Policy; CFA Institute |
| Jan. 12, 2016 | Richard Apostolik, President and CEO, Global Association of Risk Professionals, Jersey City, New Jersey |
| Jan. 7, 2016 | Milliman Financial Risk Management LLC |
| Jan. 7, 2016 | Jordana Keefer |
| Jan. 6, 2016 | Mortimer J. Buckley, Chief Investment Officer, Vanguard, Valley Forge, Pennsylvania |
| Dec. 18, 2015 | Andrew Hausman, President, Interactive Data Pricing and Reference Data, New York, New York |
| Nov. 30, 2015 | Chris Barnard, Germany |
| Nov. 30, 2015 | Seymour Sacks, President, Sacks Equalization Model Inc., Boynton Beach, Florida |
| Nov. 20, 2015 | Steve Brannock |
| Nov. 13, 2015 | Seymour Sacks, President, Sacks Equalization Model Inc, Boynton Beach, Florida |
| Nov. 5, 2015 | Seymour Sacks, President, Sacks Equalization Model Inc, Boynton Beach, Florida |
| Nov. 4, 2015 | Seymour Sacks, President, Sacks Equalization Model Inc, Boynton Beach, Florida |
| Nov. 4, 2015 | Jim H. Francis, Seattle, Washington |
| Oct. 29, 2015 | Seymour Sacks, Sacks Equalization Model, Inc. |
| Oct. 20, 2015 | Anonymous |
| Oct. 8, 2015 | Jeffrey Bronchick, CFA, Principal, Portfolio Manager. Cove Street Capital, LLC, El Segundo, California |
| Oct. 8, 2015 | Wilfred K. Chow, Esquire |
| Oct. 8, 2015 | Ronald S. Eliason, Provo, Utah |
| Oct. 5, 2015 | Don G. Powell, Bozeman, Montana |
| Oct. 1, 2015 | John Wahh |
| Sep. 23, 2015 | Anonymous |
SEC Staff Studies and Reports
(Click here for submitted comments from the public)
|
| Sep. 22, 2015 | Division of Economic and Risk Analysis White Paper: Liquidity and Flows of U.S. Mutual Funds
|
Meetings with SEC Officials
(Click here for submitted comments from the public)
|
| Mar. 14, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding an October 26, 2017, meeting with representatives of the Investment Company Institute (ICI) |
| Aug. 19, 2016 |
Memorandum from the Division of Economic and Risk Analysis regarding an August 15, 2016, presentation by a representative of the U.S. Federal Reserve Board
|
| Aug. 18, 2016 |
Memorandum from the Division of Economic and Risk Analysis regarding an August 15, 2016, meeting with representatives of Americans for Financial Reform
|
| Aug. 8, 2016 | Memorandum from the Office of the Chair regarding an August 3, 2016, meeting with representatives of Vanguard |
| Aug. 3, 2016 | Memorandum from the Office of Commissioner Kara Stein regarding an August 3, 2016, meeting with representatives of Vanguard |
| Aug. 3, 2016 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding an August 3, 2016, meeting with representatives of Vanguard |
| Jul. 28, 2016 | Memorandum from the Division of Investment Management regarding a July 19, 2016, meeting with representatives of the Independent Directors Council |
| Jul. 28, 2016 | Memorandum from the Division of Investment Management regarding a July 27, 2016, meeting with representatives of the Subcommittee on Investment Companies and Investment Advisers of the Committee on Federal Regulation of Securities of the American Bar Association's Business Law Section |
| Jul. 18, 2016 | Memorandum from the Office of Commissioner Kara Stein regarding a July 18, 2016, meeting with representatives of the Investment Company Institute |
| Jul. 18, 2016 | Memorandum from the Office of Commissioner Kara Stein regarding a July 18, 2016, meeting with representatives of Eaton Vance |
| Jul. 15, 2016 | Memorandum from the Division of Investment Management regarding a July 14, 2016, meeting with representatives of BlackRock, Inc. |
| Jul. 14, 2016 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a July 14, 2016, meeting with representatives of Eaton Vance |
| Jul. 13, 2016 | Memorandum from the Division of Investment Management regarding a July 13, 2016, meeting with representatives of the Alternative Investment Management Association and the Managed Funds Association |
| Jul. 11, 2016 | Memorandum from the Division of Investment Management regarding a July 8, 2016, meeting with representatives of Interactive Data Corporation |
| Jun. 29, 2016 | Memorandum from the Division of Investment Management regarding a June 28, 2016, meeting with representatives and members of the Investment Company Institute |
| Jun. 22, 2016 | Memorandum from the Division of Investment Management regarding a June 22, 2016, meeting with representatives of Eaton Vance |
| Jun. 22, 2016 | Memorandum from the Office of the Chair regarding a June 22, 2016, meeting with representatives of Eaton Vance |
| Jun. 15, 2016 | Memorandum from the Division of Investment Management regarding an April 28, 2016, call with representatives of Invesco and Powershares |
| Jun. 13, 2016 | Memorandum from the Division of Investment Management regarding a June 9, 2016, meeting with representatives of SIFMA |
| Jun. 9, 2016 | Memorandum from the Division of Investment Management regarding a June 8, 2016, meeting with representatives of Fidelity Investments |
| Jun. 8, 2016 | Memorandum from the Office of the Chair regarding a June 7, 2016, meeting with representatives of Capital World Investors, et al. |
| May 31, 2016 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a May 31, 2016, phone call with a representative of BlackRock, Inc. |
| May 18, 2016 | Memorandum from the Division of Investment Management regarding a May 18, 2016, meeting with representatives of the SPARK Institute, Inc. |
| May 18, 2016 | Memorandum from the Office of the Chair regarding a May 17, 2016, meeting with representatives of BlackRock, Inc. |
| May 17, 2016 | Memorandum from the Office of Commissioner Kara Stein regarding a May 17, 2016, meeting with representatives of BlackRock |
| May 17, 2016 | Memorandum from the Division of Investment Management regarding a May 10, 2016, meeting with representatives of the American Retirement Association |
| May 12, 2016 | Memorandum from the Office of Commissioner Kara Stein regarding a May 12, 2016, meeting with representatives of Markit |
| May 12, 2016 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a May 12, 2016, meeting with representatives of the Investment Company Institute |
| May 9, 2016 | Memorandum from the Division of Investment Management regarding schematics received on April 26, 2016, from SIFMA |
| May 6, 2016 | Memorandum from the Division of Investment Management regarding a May 4, 2016, meeting with representatives of Credit Suisse |
| May 6, 2016 | Memorandum from the Division of Investment Management regarding an April 27, 2016, meeting with representatives of Federated Investors |
| May 5, 2016 | Memorandum from the Office of the Chair regarding an April 29, 2016, meeting with representatives of Intercontinental Exchange (ICE) |
| Apr. 28, 2016 | Memorandum from the Office of Commissioner Kara Stein regarding an April 27, 2016, meeting with representatives of The Loan Syndications and Trading Association (LSTA) |
| Apr. 27, 2016 | Memorandum from the Office of the Chair regarding an April 27, 2016, meeting with representatives of The Loan Syndications and Trading Association (LSTA) and Invesco Ltd. |
| Apr. 27, 2016 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 27, 2016, meeting with representatives of The Loan Syndications and Trading Association (LSTA) |
| Apr. 26, 2016 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 25, 2016, meeting with representatives of Capital Group |
| Apr. 25, 2016 | Memorandum from the Division of Investment Management regarding an April 25, 2016, meeting with representatives of Wellington Management Company LLP |
| Apr. 22, 2016 | Memorandum from the Office of Commissioner Kara Stein regarding an April 14, 2016, meeting with representatives of Charles Schwab |
| Apr. 22, 2016 | Memorandum from the Office of Commissioner Kara Stein regarding an April 20, 2016, meeting with Robert Plaze |
| Apr. 21, 2016 | Memorandum from the Division of Investment Management regarding an April 20, 2016, meeting with representatives of Vanguard |
| Apr. 21, 2016 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 19, 2016, meeting with representatives of the Boston Asset Management Association |
| Apr. 19, 2016 | Memorandum from the Division of Investment Management regarding an April 18, 2016, meeting with representatives of DTCC Wealth Management Services |
| Apr. 14, 2016 | Memorandum from the Division of Investment Management regarding an April 14, 2016, meeting with representatives of Charles Schwab |
| Apr. 14, 2016 | Memorandum from the Division of Investment Management regarding an April 12, 2016, meeting with representatives and members of the Loan Syndications and Trading Association |
| Apr. 14, 2016 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 14, 2016, meeting with representatives of Charles Schwab |
| Apr. 14, 2016 | Memorandum from the Division of Investment Management regarding an April 12, 2016, meeting with representatives of SIFMA |
| Apr. 4, 2016 | Memorandum from the Division of Investment Management regarding an April 4, 2016, meeting with representatives of PWC |
| Apr. 1, 2016 | Memorandum from the Division of Investment Management regarding a March 31, 2016, call with representatives of Fidelity |
| Mar. 31, 2016 | Memorandum from the Division of Investment Management regarding a March 31, 2016, meeting with representatives of SIFMA |
| Mar. 29, 2016 | Memorandum from the Division of Economic and Risk Analysis regarding a March 29, 2016, meeting with representatives of the Investment Company Institute |
| Mar. 29, 2016 | Memorandum from the Division of Investment Management regarding a March 9, 2016, meeting with representatives of KPMG |
| Mar. 22, 2016 | Memorandum from the Division of Investment Management regarding a March 22, 2016, meeting with representatives of Fidelity |
| Mar. 21, 2016 | Memorandum from the Division of Investment Management regarding a March 21, 2016, telephonic meeting with representatives of the Association of the Luxembourg Fund Industry |
| Mar. 21, 2016 | Memorandum from the Division of Investment Management regarding a March 17, 2016, meeting with representatives of PIMCO |
| Mar. 21, 2016 | Memorandum from the Division of Investment Management regarding a March 18, 2016, meeting with representatives of Americans for Financial Reform, the Consumer Federation of America and Vermont Law School |
| Mar. 17, 2016 | Memorandum from the Division of Investment Management regarding a March 17, 2016, meeting with representatives of Global Association of Risk Professionals |
| Mar. 11, 2016 | Memorandum from the Division of Economic and Risk Analysis regarding a March 10, 2016, meeting with representatives of Barclays plc |
| Mar. 11, 2016 | Memorandum from the Division of Investment Management regarding a March 10, 2016, meeting with representatives of SIFMA |
| Mar. 10, 2016 | Memorandum from the Division of Economic and Risk Analysis regarding a January 14, 2016, meeting with representatives of BlackRock, Inc. |
| Mar. 10, 2016 | Memorandum from the Division of Economic and Risk Analysis regarding a March 9, 2016, meeting with representatives of BlackRock, Inc. |
| Mar. 9, 2016 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a March 2, 2016, meeting with representatives of the Independent Directors Council |
| Mar. 9, 2016 | Memorandum from the Division of Investment Management regarding a March 9, 2016, meeting with representatives of Ernst & Young LLP |
| Mar. 3, 2016 | Memorandum from the Division of Investment Management regarding a March 2, 2016, meeting with representatives of the Alternative Investment Management Association |
| Mar. 2, 2016 | Memorandum from the Office of Commissioner Kara Stein regarding a March 2, 2016, meeting with representatives of the Independent Directors Council |
| Feb. 26, 2016 | Memorandum from the Division of Investment Management regarding a February 23, 2016, meeting with representatives of the Investment Company Institute and Vanguard |
| Feb. 24, 2016 | Memorandum from the Division of Investment Management regarding a February 23, 2016, meeting with representatives of the Investment Company Institute and Vanguard |
| Feb. 23, 2016 | Memorandum from the Office of Commissioner Kara Stein regarding a February 23, 2016, meeting with representatives of the Investment Company Institute and Vanguard |
| Feb. 4, 2016 | Memorandum from the Division of Investment Management regarding a February 4, 2016, meeting with representatives of the Government Finance Officers Association |
| Jan. 20, 2016 | Memorandum from the Division of Investment Management regarding a January 14, 2016, meeting with representatives of Interactive Data Corporation |
| Jan. 20, 2016 | Memorandum from the Division of Investment Management regarding a January 14, 2016, meeting with representatives of BlackRock, Inc. |
| Jan. 15, 2016 | Memorandum from the Office of Commissioner Kara Stein regarding a January 14, 2016, meeting with representatives of BlackRock, Inc. |
| Jan. 14, 2016 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a January 14, 2016, meeting with representatives of BlackRock, Inc. |
| Jan. 11, 2016 | Memorandum from the Office of Commissioner Kara Stein regarding a January 11, 2016, phone call with representatives of the Investment Company Institute |
| Dec. 23, 2015 | Memorandum from the Office of Commissioner Kara Stein regarding a December 17, 2015, meeting with representatives of Fidelity Investments |
| Dec. 21, 2015 | Memorandum from the Division of Investment Management regarding a December 17, 2015, meeting with representatives of Fidelity Investments |
| Dec. 21, 2015 | Memorandum from the Division of Investment Management regarding a December 17, 2015, meeting with representatives of Bloomberg |
| Dec. 17, 2015 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a December 17, 2015, meeting with representatives of Fidelity Investments |
| Dec. 7, 2015 | Memorandum from the Division of Investment Management regarding a December 4, 2015, meeting with representatives of the Alternative Investment Management Association |
| Nov. 24, 2015 | Memorandum from the Division of Investment Management regarding a November 23, 2015, telephonic meeting with representatives of the Association of the Luxembourg Fund Industry (ALFI) |
| Nov. 20, 2015 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a November 20, 2015, meeting with representatives of the American Bar Association Business (ABA) Law Section Subcommittee on Investment Companies and Investment Advisers |
| Nov. 5, 2015 | Memorandum from the Division of Investment Management regarding a November 5, 2015, meeting with representatives of MSCI |
| Nov. 3, 2015 | Memorandum from the Division of Investment Management regarding a November 3, 2015, meeting with representatives of Interactive Data Corporation |
| Oct. 29, 2015 | Memorandum from the Division of Investment Management regarding an October 29, 2015, meeting with representatives of BlackRock, Inc. |
http://www.sec.gov/comments/s7-16-15/s71615.shtml
|
